J T. Parker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
J Thomas Parker, who also goes by Joseph T Parker Jr, was a registered financial professional .
J is a previously registered financial professional and started their career in finance in 1986. J had worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2020 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 30, 2020 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 12, 2016 - February 3, 2020
CETERA INVESTMENT ADVISERS LLC
September 12, 2016 - February 3, 2020
CETERA FINANCIAL SPECIALISTS LLC
June 16, 2005 - September 13, 2016
INVESTORS CAPITAL CORP.
June 28, 1999 - June 16, 2005
EASTERN POINT ADVISORS INC.
May 12, 1999 - September 13, 2016
INVESTORS CAPITAL CORP.
April 15, 1998 - December 31, 2008
HERITAGE CAPITAL MANAGEMENT INC
May 19, 1993 - June 4, 1999
MACK INVESTMENT SECURITIES, INC.
April 1, 1993 - June 4, 1999
MACK INVESTMENT SECURITIES, INC.
December 16, 1992 - April 7, 1993
LCL INVESTMENTS, INC.
January 1, 1991 - December 17, 1992
MACK INVESTMENT SECURITIES, INC.
March 10, 1989 - December 11, 1990
IFR SECURITIES, INC.
June 9, 1986 - June 28, 1988
INVESTORS BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
